Brian Lopez
Investment adviser representative at UBS Financial Services Inc.
11 yearsExperience
2 statesRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- UBS Financial Services, IncApr 2025 to now
- UnemployedNov 2024 to Apr 2025
- U.S. Bancorp Investments, Inc.Oct 2023 to Nov 2024
- Charles Schwab & Co., Inc.Nov 2021 to Oct 2023
- Charles Schwab Bank, SsbNov 2021 to Oct 2023
- UnemployedMay 2021 to Nov 2021
- Northwestern MutualJul 2020 to Oct 2020
- Jolly Good Consulting/navixMay 2019 to Aug 2020
- California State University FullertonAug 2017 to May 2021
- Vector Marketing/cutcoJul 2017 to Aug 2017
- Local GreensFeb 2016 to Jul 2017
- Torrey Pines High SchoolJan 2015 to Jun 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2022
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7241125
- Firm CRD
- 8174